[144] Capital One Financial SEC Filing

Rhea-AI Filing Summary

Roku, Inc. (ROKU) has filed a Form 144 indicating a proposed insider sale. The filer—identified in the prior-sale section as Matt Banks—plans to sell 3,360 common shares through Morgan Stanley Smith Barney on or about 08/04/2025 on the NASDAQ. At the reference market price, the transaction is valued at $285,768.67. Roku has 147,330,633 shares outstanding, so the planned sale represents roughly 0.0023 % of total shares.

The filing also discloses that the same individual sold 629 shares on 06/03/2025 for $45,904.42. The shares to be sold derive from restricted-stock awards acquired between September 2023 and June 2025. No adverse, non-public information is acknowledged, satisfying Rule 144 representations. While the dollar amount is modest relative to Roku’s market capitalization, investors often monitor insider activity for sentiment signals.

Positive

• None.

Negative

• Insider intends to sell 3,360 shares worth ~$286k, following a prior 629-share sale, which some investors may interpret as a modest negative sentiment signal.

Insights

Securities Analyst

TL;DR: Small Form 144 sale (~$286k, 0.002% float)—informational, not valuation-changing.

The planned disposition is immaterial to Roku’s share count and liquidity, but insider sales can flag sentiment shifts. The seller, Matt Banks, has recently reduced holdings by 629 shares and now registers a larger, though still minor, tranche. The shares stem from routine vesting of restricted-stock grants, a common liquidity event for employees. No price-sensitive disclosures accompany the notice, and the representation affirms no undisclosed material information. Given Roku’s typical daily volume, execution should not affect pricing. Overall impact on valuation, ownership concentration, or float is negligible.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	5515	1155900.98	639517306	08/04/2025	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	02/15/2024	Performance Shares	Issuer			736	02/15/2024	Not Applicable
Common	03/10/2025	Performance Shares	Issuer			1188	03/10/2025	Not Applicable
Common	02/15/2025	Performance Shares	Issuer			3591	02/15/2025	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
MICHAEL ZAMSKY 1680 Capital One Drive McLean VA 22102	Common	05/12/2025	4294	856230.47
MICHAEL ZAMSKY 1680 Capital One Drive McLean VA 22102	Common	05/12/2025	5266	1050048.83

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

How many Roku (ROKU) shares are being sold under this Form 144?

The filing covers 3,360 common shares.

What is the estimated market value of the planned Roku share sale?

The aggregate market value is $285,768.67.

When is the approximate sale date for these Roku shares?

The filer targets 08/04/2025 as the sale date.

What percentage of Roku’s outstanding shares does this sale represent?

Approximately 0.0023 % of the 147,330,633 shares outstanding.

Who is the broker handling the transaction?

Morgan Stanley Smith Barney LLC, Executive Financial Services, New York.

Have any Roku shares been sold recently by the same insider?

Yes, 629 shares were sold on 06/03/2025 for $45,904.42.